Analyst, Account Transfers

LPL Financial•Fort Mill, SC

6d•$26 - $44•Onsite

About The Position

The Account Transfers team is responsible for facilitating all securities movement into and out of the firm. The ideal candidate will have an understanding of data analysis, project management, and reporting tools and technology in general to effectively analyze business requirements, track project status, and translate business needs into technical requirements. The candidate will also need strong interpersonal, organization and communication skills (written and verbal) to be effective in the role.

Requirements

3 + years experience in Brokerage Operations, specifically Account Transfers/ACATs
Ability to work independently in a fast paced environment with multiple priorities
Ability to work with and communicate effectively to various levels throughout the organization.
Ability to learn multiple aspects of the Financial Services industry and understand how it all connects
Excellent verbal and written communication skills

Nice To Haves

Proficiency in Alteryx and Microsoft applications (Excel, Access, etc)
Experience with implementation and adherence of Lean Management principles
Experience with Brokerage Clearing Platforms; BetaNXT; FISPhase3; Broadridge
SIE or Series 7 preferred

Responsibilities

Analytical skills to review exceptions and perform reconciliation to ensure compliance with corporate and regulatory policies and procedures.
Reconcile, process, and validation reports on a daily basis.
Provide regulatory and risk oversight on processes and guidance for complex issues that arise in daily tasks.
Reconcile mutual fund transfers facilitated through the ACAT system.
Respond service requests that are created by Service360 teams, General Service Center, and CCS Service Center
Develop risk based mitigation approaches that may yield changes to functions, and departmental requirements.
Understand and Interpret rule modifications in an ever changing regulatory environment, and understand the business needs of LPL, our advisors, and other departments
Risk Management- responsible for daily Account Transfers reconciliations, managing error rates, exception review processing and daily reporting.
Other duties could also include policy and procedures reviews and presentations to the staff.
Technology and Systems Management – Participate and implement departmental projects as well as coordinating and performing User Acceptance Testing.
Partner with other operational groups to ensure consistency and understanding for downstream/upstream effect.
Review processes and procedures to identify areas of improvement to mitigate risk, increase efficiency and ensure consistency to Advisors and Clients.
Recognizes issues, problems, or opportunities and determines whether action is needed.
Seeks the perspective of others and re-examines assumptions to creatively solve problems and generate solutions.
Makes connections & offers creative recommendations on how to solve business challenges.